Compliance Manager, Control Room

JR United Kingdom; City of Edinburgh; On-site; GBP 45,000 - 65,000; Full time

Job summary

A leading investment banking client seeks a Compliance Manager for a 6-month contract in Edinburgh. The role requires managing control room tasks, ensuring compliance with regulatory obligations, and providing expertise in risk management. Candidates should have extensive knowledge of compliance principles relevant to control room activities and strong project management skills.

Qualifications

• Prior experience in a compliance role in control room monitoring.
• Strong understanding of Takeover Panel rules and related disclosures.
• Solid knowledge of the UK regulatory framework.

Responsibilities

• Assist in managing Control Room tasks and supervising junior staff.
• Manage Watch, Grey, and Restricted Lists and resolve conflicts of interest.
• Contribute to compliance training and represent the UK Compliance function.

Skills

Compliance principles

Analytical skills

Problem-solving

Regulatory knowledge

Project management

Education

Professional qualification in Compliance

Job description

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Compliance Manager, Control Room, Edinburgh

Client: Lorien

Location: Edinburgh, United Kingdom

Job Category: Other

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EU work permit required: Yes

Job Views:

9

Posted:

06.06.2025

Expiry Date:

21.07.2025

Job Description:

6 Month Contract - Inside IR35 - Investment Banking

Our industry-leading investment banking client is looking for a compliance manager on a 6-month contract, with experience working in a control room in financial services.

Core accountabilities of role:

• Assist in the general management of Control Room tasks, including supervising the deliverables and acting as an escalation point for more junior members of the team.
• Manage and control the Watch, Grey, and Restricted Lists and the identification and resolution of potential conflicts of interest.
• Support the relevant business and functions areas in implementing key control room related policies and procedures for the territory as a subject matter expert.
• Assist in ensuring BNPP meets its regulatory requirements regarding disclosures to the Takeover Panel, FCA, and other regulators.
• Review and approve research reports versus the Grey/Watch and Restricted Lists to ensure potential conflicts of interest are cleared.
• Identify solutions for business or compliance issues, including complex and atypical problem solving.
• Manage medium-sized projects and contribute to strategic initiatives, influencing new initiatives and improvements.
• Lead training of junior staff.
• Make innovative recommendations to improve the monitoring plan of the Control Room's key activities.
• Identify opportunities to enhance the effectiveness of the Control Room.
• Contribute to committees by representing the UK Compliance function or CIB Compliance.
• Contribute to the delivery of compliance training.

Knowledge, Skills, and Experience:

• Professional qualification and prior experience in a Compliance role in control room monitoring or related activities.
• Excellent knowledge of Compliance principles and processes related to Control Room activities.
• Strong understanding of Takeover Panel rules, including disclosures under rules 8.1 and 8.5.
• Knowledge of Information Barriers setup and processes.
• Thorough knowledge of Watch/Grey and Restricted list processes.
• Experience with Investment Research Clearance.
• Solid knowledge of the UK regulatory framework and its application to banking.
• Awareness of risk and fundamental risk concepts.
• Excellent analytical skills with the ability to translate knowledge into advice and recommendations.
• Ability to identify and solve complex problems, make sound decisions, and manage risks, including critical thinking and handling ambiguity.
• Ability to work independently with high autonomy.
• Organized with the ability to prioritize and work under pressure and tight deadlines.